On Thursday, June 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this information to any interested parties who would like to attend.
- WebinarAudio fileTopics
- Webinar
On Wednesday, March 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this information to any interested parties who would like to attend.
Audio fileTopics - Webinar
On Wednesday, February 28th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.
Audio fileTopics - Webinar
On Tuesday, January 30th, 2018, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT and to answer related questions. The webcast will be recorded and playback will be available on the CAT NMS website. Please forward this meeting invite to any interested parties who would like to attend.
Audio fileTopics - Webinar
On Tuesday, December 19, 2017, at 4:15PM EST, the CAT NMS, LLC Operating Committee will be hosting a Consolidated Audit Trail webcast to discuss current progress on the CAT. Representatives from the CAT NMS, LLC Operating Committee, as well as the CAT Plan Processor, Thesys CAT, will discuss upcoming milestones, requirements, and the timelines and process for development and delivery of the industry technical specifications for compliance with the CAT. The webcast will be recorded and playback will be available on the CAT NMS website (www.catnmsplan.com).
Audio fileTopics - Webinar
With the approval of the Consolidated Audit Trail (CAT) National Market System (NMS) Plan in 2016, and the selection of Thesys CAT LLC as the Plan Processor in early 2017, the implementation timelines for establishing the CAT are in effect. The CAT NMS Plan requires exchanges, national securities associations, alternative trading systems, and broker-dealers to submit information on order and trade events for listed and OTC equities and listed options to the CAT on a daily basis, in addition to customer data.
Audio fileTopics - Working GroupAudio file
- Webinar
Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Weekly Industry Testing Checkpoint Calls every Tuesday at 4:15 pm ET beginning on March 24, 2020 through April 28, 2020. The events will be held at 4:15 pm ET.
Please note that FINRA CAT, LLC is now utilizing Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. The presentation document and recording will be posted.
Audio file - Webinar
Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice.
Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.
Audio file - Webinar
Consolidated Audit Trail, LLC and FINRA CAT, LLC will host Industry Testing Checkpoint Calls every other Tuesday at 4:15 pm ET beginning on February 2, 2021 until further notice.
Please note that FINRA CAT, LLC utilizes Zoom to conduct industry webinars. Please check your firewall to ensure your firm has the ability to view Zoom content. If you are unable to download and run Zoom, please click the “join from your browser” link. This webinar will be recorded. The presentation document and recording will be posted.
Audio file